2010, Communications, Exercises and Military - Information Management Today

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2010

Communications

Exercises

Military

SEC and FINRA Issue 2020 Examination Priorities for Broker-Dealers and Investment Advisers

Data Matters

FEBRUARY 20, 2020

Communications with the Public. FINRA will continue to review for firms’ compliance with core obligations under FINRA and SEC rules governing communications with the public, supervision, and books and records requirements. communications via digital communication channels (e.g., Cash Management and Bank Sweep Programs.

Retail

Retail Compliance Marketing Risk

SEC and FINRA Issue 2020 Examination Priorities (Including Cybersecurity) for Broker-Dealers and Investment Advisers

Data Matters

JANUARY 24, 2020

OCIE also will focus on recommendations and advice provided to retail investors, with a particular emphasis on seniors, retirees, teachers and military personnel, as well as products that the SEC considers higher risk (e.g., Communications with the Public. communications via digital communication channels (e.g.,

Cybersecurity

Cybersecurity Retail Compliance Marketing

SEC and FINRA Issue 2020 Examination Priorities for Broker-Dealers and Investment Advisers

SEC and FINRA Issue 2020 Examination Priorities (Including Cybersecurity) for Broker-Dealers and Investment Advisers

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